Project Management Career Development Program

Transcription

1 Project Management Career Development Program Certification and Equivalency Guidelines APRIL 2011 Washington D.C

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3 PMCDP Certification and Equivalency Guidelines i TABLE OF CONTENTS SECTION TITLE PAGE 1 Introduction Applicability Identification and Selection of PMCDP Participants DOE Contractors Exclusions Grandfathering Participants Interface with Federal Qualification Programs DOE Technical Qualification Program (TQP) Information Technology (IT) Acquisition Career Professionals Federal Acquisition Certification for Program and Project Managers Duties and Responsibilities DOE Federal Project Directors Program Secretarial Officers Field Element Managers Approving Official Office of Engineering and Construction Management National Nuclear Security Agency Administrator Additional Duties and Responsibilities Functional Requirements Knowledge, Skill, and Ability Equivalency Competency Approval DOE Corporate Human Resources Information System/Employee Self-Service Individual Development Plan Training Work and Development Activities Mentoring Professional Certifications Project Management Professional (PMP) Professional Engineer (PE) Registered Architect (RA) Certified Safety Professional (CSP) Senior Technical Safety Manager (STSM) Support System

4 ii PMCDP Certification and Equivalency Guidelines TABLE OF CONTENTS (continued) SECTION TITLE PAGE 5 Certification Certification Level Interim Certification Participants Requirements Granting of Interim Certification Certification Review Board Equivalencies Waivers Interviews Appeals Certification under Federal Acquisition for Program and Project Managers Knowledge/Skill Level Familiarity-level Working-level Expert-level Training Project Director Experience Deputy Project Director Experience Documentation PMCDP Requirement Competencies LEVEL General Project Management Leadership/Team Building Scope Management Communication Management Quality/Safety Management Cost Management Time Management Risk Management

5 PMCDP Certification and Equivalency Guidelines iii TABLE OF CONTENTS (continued) SECTION TITLE PAGE Contract Management Integration Management Training Electives Work and Development Activities Behavioral LEVEL General Project Management Leadership/Team Building Scope Management Communication Management Quality/Safety Management Cost Management Time Management Risk Management Contract Management Integration Management Training Electives

6 iv PMCDP Certification and Equivalency Guidelines TABLE OF CONTENTS (continued) SECTION TITLE PAGE Work and Development Activities Behavioral LEVEL General Project Management Leadership/Team Building Scope Management Communication Management Quality/Safety Management Cost Management Time Management Risk Management Contract Management Integration Management Training Electives A A B B B

7 PMCDP Certification and Equivalency Guidelines v TABLE OF CONTENTS (continued) SECTION TITLE PAGE Work and Development Activities Behavioral Interview Requirement Reference Checks LEVEL General Project Management Leadership/Team Building Scope Management Communication Management Quality/Safety Management Cost Management Time Management Risk Management Contract Management Integration Management Training Electives Work and Development Activities Behavioral Interview Requirement Reference Checks

8 vi PMCDP Certification and Equivalency Guidelines TABLE OF CONTENTS (continued) SECTION TITLE PAGE 7 Continuing Education Requirements APPENDICES TABLES Appendix A. Complexity, Risk, and Visibility: EM Cleanup Projects... A-1 Appendix B. PMCDP Certification Requirements... B-1 Appendix C. PMCDP CRB Level 3 or 4 Interview Process... C-1 Table 7-1. Continuing Education Credit Assignments Table A-1. Complexity Factors.... A-1 Table A-2. Visibility Factors.... A-1 Table A-3. Risk Factors.... A-2 Table B-1. PMCDP Certification Requirements at a Glance... B-2 & 3

9 PMCDP Certification and Equivalency Guidelines vii ACRONYMS A/E ACMP CAA CD CE CEG CERCLA CFR CHRIS CLP CO COR COTR CRB CWA DNFSB DOD DOE DOE HQ E&C EIR EIS EM EPA ESAAB ESS EVMS FAC-P/PM FAI FAR FEM FFA FPD GAO GPP GW HLW HQ HSS IDP IPR IPT ISM IT KSA LPSO Architecture/Engineering Firm Acquisition Career Management Program Clean Air Act Critical Decision Continuing Education Certification and Equivalency Guidelines Comprehensive Environmental Response, Compensation, and Liability Act Code of Federal Regulations Corporate Human Resource Information System Continuous Learning Point Contracting Officer Contracting Officer's Representative Contracting Officer s Technical Representative Certification Review Board Clean Water Act Defense Nuclear Facilities Safety Board Department of Defense Department of Energy Department of Energy Headquarters Engineering and Construction Costs External Independent Review Environmental Impact Statement Office of Environmental Management Environmental Protection Agency Energy Systems Acquisition Advisory Board Employee Self Service Earned Value Management System Federal Acquisition Certification for Program and Project Managers Federal Acquisition Institute Federal Acquisition Regulation Field Element Manager Federal Facility Agreement Federal Project Director Government Accountability Office General Plant Project Groundwater High Level Waste Headquarters Health, Safety and Security Individual Development Plan Independent Project Review Integrated Project Team Integrated Safety Management Information Technology Knowledge, Skill, and Ability Lead Program Secretarial Office

10 viii PMCDP Certification and Equivalency Guidelines ACRONYMS (continued) M&I M&O NCO NEPA NNSA NRC OBS OECM OMB ORR OSHA PACS PMCDP PBI PBMC PE PEP PMI PMP PSO QA RA RAM RCRA RFP ROD S&M SEB SME SOW STSM TPC TQP TRU TSCA TVA WBS VE VM Management and Integrating Management and Operating NEPA Compliance Officer National Environmental Policy Act National Nuclear Security Administration Nuclear Regulatory Commission Organizational Breakdown Structure Office of Engineering and Construction Management Office of Management and Budget Operational Readiness Review Occupational Safety and Health Act Planning and Control System Project Management Career Development Program Performance-Based Incentive Performance-Based Management Contracts Professional Engineer Project Execution Plan Project Management Institute Project Management Professional Program Secretarial Office Quality Assurance Registered Architect Responsibilities Assignment Matrix Resource Conservation and Recovery Act Request for Proposal Record of Decision Surveillance and Maintenance Source Evaluation Board Subject Matter Expert Statement of Work Senior Technical Safety Manager Total Project Cost Technical Qualification Program Transuranic Toxic Substances Control Act Tennessee Valley Authority Work Breakdown Structure Value Engineering Value Management

11 PMCDP Certification and Equivalency Guidelines Introduction 1-1 SECTION 1 INTRODUCTION This Certification and Equivalency Guideline (CEG) establishes the U.S. Department of Energy (DOE) competency requirements for all DOE Federal project management (PM) personnel to be certified as DOE project directors in accordance with DOE Order 361.1B, Acquisition Career Development Program, Chapter IV (Project Management Career Development Program Module [PMCDP]). The CEG is required by DOE Order 361.1B, to be separately issued, and to contain the current certification requirements of the PMCDP.

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13 PMCDP Certification and Equivalency Guidelines Applicability 2-1 SECTION 2 APPLICABILITY This CEG applies to all DOE federal project management personnel required to plan and execute projects in accordance with DOE Order 413.3B, Program and Project Management for the Acquisition of Capital Assets, except as noted in DOE Order 361.1B, Chapter IV (DOE Order 361.1, Change 2 was initially issued June 13, 2003 and re-issued under DOE Order 361.1A, April 19, 2004, and DOE Order 361.1B, January 24, 2008). This document may be used as a stand-alone document or in conjunction with other qualification standards established by additional office/facility requirements, and is referenced as a portion of the DOE Acquisition Career Management Program (ACMP) [1] Handbook. IDENTIFICATION AND SELECTION OF PMCDP PARTICIPANTS DOE Contractors. This CEG and DOE Order 361.1B does not apply to contractors. Exclusions. This CEG and DOE Order 361.1B does not apply to the Bonneville Power Administration. Grandfathering. This module does not have a grandfather provision for project management certification, and the Certification Review Board (CRB) will not issue a certification based solely on the candidate s incumbency as a project director before the effective date of DOE Order 361.1B. Participants. Certification candidates [2] are nominated by their program office (PSO) with a profile [3] submitted to the CRB electronically through the Corporate Human Resources Information Service (CHRIS)/Employee Self Service System (ESS). Certification profiles are not accepted from individuals without PSO approval and sponsorship. The duties and responsibilities of a federal project director (FPD) can be found in both this CEG (see Section 3, Duties and Responsibilities ) and DOE Order 413.3B. INTERFACE WITH FEDERAL QUALIFICATION PROGRAMS The PMCDP has been designed to interface with other federal qualification programs. DOE Technical Qualification Program [4] (TQP). Some DOE federal project directors are already qualified under the TQP. Federal project directors at defense nuclear facilities typically are senior technical safety managers (STSMs) who have satisfied STSM requirements in addition to TQP qualification requirements. TQP and STSM qualification programs include competencies in construction and project management, but do not focus on advanced project management skills. The TQP project management standard has not been approved by PMCDP, so federal project directors [1] [2] [3] [ 4 ] The ACMP is a DOE career management program established to provide a formal, structured approach to career development for DOE's acquisition workforce, with project directors defined as one segment of this workforce. A certification candidate is a person who has applied to the CRB for PMCDP certification. A profile is the formal application submitted to the CRB. This document is prepared electronically in the DOE CHRIS ESS, PMCDP module and for use in support of certification requests. Additional qualification requirements may be required for personnel at defense nuclear facilities who participate in the Technical Qualification Program (TQP).

14 2-2 PMCDP Certification and Equivalency Guidelines Applicability who have qualified successfully under these programs still must be certified under the PMCDP in order to manage DOE capital assets; however, prior training and qualifications under the TQP and STSM programs may be considered as PMCDP training and work/developmental equivalencies where applicable. Information Technology (IT). The Department also certifies IT federal project directors in support of DOE s information technology capital assets. The Office of the Chief Information Officer certifies IT federal project directors. Information about IT federal project director certification can be found at: Acquisition Career Professionals. Acquisition personnel, other than federal project directors are certified under separate chapters of DOE Order 361.1B. PMCDP training is available to the acquisition community and provided on an as-needed basis. Federal Acquisition Certification for Program and Project Managers. The Office of Management and Budget (OMB), Office of Procurement Policy has promulgated certification requirements for the acquisition workforce [5] in civilian agencies, the Federal Acquisition Certification for Program and Project Managers (FAC-P/PM). The FAC-P/PM recognizes three levels of certification entry/apprentice, mid level/journeyman and senior/expert. The PMCDP is compliant with the requirements of the FAC-P/PM at all levels as follows: FAC-P/PM EQUATES TO PMCDP Entry Level = Level 1 Mid-Level/Journeyman = Level 2 Senior/Expert Level = Level 3 & Level 4 Project directors assigned to projects considered major acquisitions [6] are required to acquire senior level certification under the Federal Acquisition Certification Program for Program and Project Managers (FAC-P/PM). Waivers of part or all of the FAC-P/PM requirements will only apply to senior level certifications and must be granted in writing by the Chief Acquisition Officer or designated functional manager, on a case-by-case basis. Waivers are not required for the first year following assignment to a major acquisition; however, waivers for additional time beyond that year shall be granted for no more than an additional year. Certification under FAC-P/PM requirements may apply (at a minimum) to the following DOE project management personnel: Individuals with significant involvement in one or more phases of the acquisition investment process (initiation, conceptualization/design, development, implementation, modification, maintenance, evaluation, and disposal). [5] [6] "Acquisition workforce" is used to refer to the universe of professionals subject to the requirements of DOE Order 361.1B and the ACMP Handbook. Major Acquisitions are defined in OMB Circular A-11, Part 7, Exhibit 300.

15 PMCDP Certification and Equivalency Guidelines Applicability 2-3 Managers with authority and responsibility for overseeing multiple phases of the acquisition investment process. Individuals with responsibility for leading cross-agency or acquisition investment programs for a major portion or all of the investment life-cycle. Individuals responsible for leading, coordinating, and managing IPTs for acquisition investments. Individuals participating on an IPT or a phase of the investment lifecycle with aspirations for career development as a project manager.

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17 PMCDP Certification and Equivalency Guidelines Duties and Responsibilities 3-1 DOE FEDERAL PROJECT DIRECTORS SECTION 3 DUTIES AND RESPONSIBILITIES Maintain certification according to requirements of the PMCDP Module. Ensure their Individual Development Plan (IDP) reflects the training, continuing education (CE), and work and development requirements defined in this CEG and ACMP Handbook. Provide feedback on the effectiveness of the PMCDP certification program, identifying additional training and CE needs. Assist with training, mentoring, and certification of other federal project directors and/or other persons who wish to attain certification. PROGRAM SECRETARIAL OFFICERS OR THEIR FORMAL DESIGNEES (including Operations Offices, Site Offices, Area Offices, Project Offices, and Service Centers) Ensure their federal project directors are certified according to the requirements outlined in DOE Order 361.1B, Chapter IV, the CEG, the ACMP Handbook, and the requirements in DOE Order 413.3B. Refer certification candidates to Headquarters CRB for certification. Track the certification status of persons certified under PMCDP. Provide the Office of Engineering and Construction Management (OECM) with updates of project assignments, developmental assignments, and certification status of persons certified under PMCDP. Ensure that Federal employees whose certifications are cancelled under DOE Order 361.1B, Chapter IV, are reassigned to duties other than serving as the federal project director of DOE capital assets, and cancel any incentive pay provided under DOE Order 361.1B, Chapter IV. Notify the Secretariat of the CRB of approved nominees for the industry rotation program sponsored by the Office of Management. Establish a project management function that o o Serves as a homeroom for persons certified under PMCDP; and Provides a forum for exchanging ideas, sharing lessons learned, and conducting technical presentations and workshops. Track and report PMCDP performance measures as identified and requested by OECM.

18 3-2 PMCDP Certification and Equivalency Guidelines Duties and Responsibilities May provide incentives to federal project directors either as lump sum amounts or as additions to basic pay in keeping with 5 CFR (Code of Federal Regulations) Part 575 covering recruitment, relocation, and retention incentives. FIELD ELEMENT MANAGERS OR THEIR FORMAL DESIGNEES (including Operations Offices, Site Offices, Area Offices, Project Offices, and Service Centers) Direct approving officials (i.e., first line/site manager) to review fulfillments/equivalencies for certification candidates in accordance with program office protocol using guidelines established by the CRB. As appropriate, ensure PMCDP certification requirements are used as a quality-ranking factor in all federal project director vacancy announcements. Conduct panel interviews for Levels 1 and 2 certifications as deemed necessary and appropriate. Use model Project Manager position descriptions developed by the Office of Human Capital Management to the maximum extent practical. As deemed necessary and appropriate, pay for Project Management Institute (PMI) Project Management Professional (PMP) testing fees. Ensure that certification and CE hour data is loaded in CHRIS/ESS. Maintain auditable records of training for those persons certified under PMCDP. Select certification candidates based on the qualification requirements in DOE Order 361.1B. Submit applications for PMCDP certification to the Program Secretarial Officer or designee for review and approval within 12 months of selection for new hires, reassignments, or promotions/advancements. Direct supervisors of persons certified under PMCDP to identify training needs according to the requirements of DOE Order 361.1B and budget for these recurring project management training needs on an annual basis. Ensure that persons certified under PMCDP are provided the appropriate developmental assignments and experience needed to progress to higher Levels of certification. Ensure that persons certified under PMCDP develop and execute IDPs consistent with the training, experience, and development requirements defined in this CEG. Ensure that appropriate training and CE requirements are satisfied in a timely manner to maintain certification. Approve individual competencies (requirements) as described in this CEG and the ACMP Handbook (as applicable).

19 PMCDP Certification and Equivalency Guidelines Duties and Responsibilities 3-3 Ensure that training and certification records for persons certified under PMCDP are maintained in the DOE CHRIS/ESS. At the discretion of the field office manager/program offices and commensurate with contract management practices at the site/office, provide certified federal project directors with formal contracting officer representative authority once federal project directors have received the required training and their technical contract administration competency is verified. Notify the Secretariat of the CRB of approved nominees as certification candidates for developmental assignments in the industry rotation program sponsored by the Office of Management. Track the career path of persons certified under PMCDP to ensure training, developmental activities, and experiences are being provided and used in a manner consistent with the PMCDP defined in DOE Order 361.1B. APPROVING OFFICIAL Review all competency requests as assigned in an expeditious manner. Document denial of competency requests in CHRIS/ESS and according to any other applicable Office/Site procedure. OFFICE OF ENGINEERING AND CONSTRUCTION MANAGEMENT Using program and field nominations, selects membership to and co-chairs the CRB (the CRB co-chair responsibilities may be delegated one level). Ensure all DOE federal project directors are certified according to the requirements of the PMCDP Module. The Director, or the designee, approves all certification requirement waivers. [Note: Responsibility may be delegated per DOE O361.1B, Chapter IV, paragraph 4c(1).] Develop an annual complex-wide PMCDP needs assessment and statistics on federal project director retention and other persons certified under the PMCDP. Track the development of persons certified under the PMCDP. Notify persons certified under the PMCDP and their supervisors of training and developmental needs. Track the assignments of federal project directors through the DOE Project Assessment Reporting System and monitor the certification status. Develop, issue, and maintain PMCDP requirements, CEG, and the PMCDP Chapter of the ACMP Handbook.

20 3-4 PMCDP Certification and Equivalency Guidelines Duties and Responsibilities Provide written notification to Program offices and the Secretariat of the CRB of persons certified under the PMCDP who either have failed to maintain certification as required or are de-certified. Review quarterly reports on CE status and provide 90-day notification to persons certified under PMCDP and Programs of pending revocation of certification when CE requirements for maintaining certification are not met. Review, approve, and track CE credits in accordance with DOE Order 361.1B, Chapter IV, this CEG, and the ACMP Handbook. Annually evaluate project management training needs and ensure appropriate training is available through the Office of Human Capital Management or other sources. Establish, track, and report PMCDP performance measures to the Deputy Secretary on an annual basis. Assist program offices and field elements in developing any required justifications for pay incentives. Ensure appropriate training that satisfies the training requirements defined in this module is available to DOE federal project directors and other persons certified under the PMCDP. Ensure priority for placement in training courses and in developmental assignments is given to incumbent federal project directors. NATIONAL NUCLEAR SECURITY AGENCY ADMINISTRATOR Using program and field nominations, selects membership to and co-chairs the CRB (the CRB co-chair responsibilities may be delegated one level). Ensures that all federal project directors are certified according to the requirements of the PMCDP Module. National Nuclear Security Administration (NNSA) Administrator or his/her designee approves all certification requirement waivers. Responsibility may be delegated per DOE Order 361.1B, Chapter IV 4d(1). ADDITIONAL DUTIES AND RESPONSIBILITIES Additional duties and responsibilities specific to the site, the facility, the operational activities, and/or the involved organizations may be applicable.

21 PMCDP Certification and Equivalency Guidelines 4-1 Functional Requirements SECTION 4 FUNCTIONAL REQUIREMENTS The PMCDP establishes requirements and responsibilities for all FPDs required to plan and execute projects in accordance with DOE Order 413.3B. All knowledge, skill, and ability (KSA) requirements are competency-based and encompass a range of developmental, experiential, training, and mentoring activities, which lead to certification. The PMCDP certifies federal project directors in support of DOE s construction, experimental equipment, and environmental management capital asset projects that correspond to defined levels of project management responsibilities. KNOWLEDGE, SKILL, AND ABILITY The competencies contained in this document are divided into the following KSA categories for each level of certification (as applicable): 1. Project Management General 2. Leadership/Team Building 3. Scope Management 4. Communication Management 5. Quality/Safety Management 6. Cost Management 7. Time Management 8. Risk Management 9. Contract Management 10. Integration Management 11. Related Course Electives 12. Work and Developmental Activities 13. Behavioral EQUIVALENCY PMCDP competencies may be fulfilled through designated PMCDP training, equivalent education or training, or work experience. Fulfillment of a competency by equivalent training, education, or experience may be granted based upon an objective evaluation of the information provided by the project director in his or her profile. The supporting knowledge and/or skill statements will be considered when evaluating an individual s ability with respect to each competency requirement (see Section 6, for further details).

22 4-2 PMCDP Certification and Equivalency Guidelines Functional Requirements COMPETENCY APPROVAL Individual competencies will be approved by cognizant field personnel (approving official), including supervisors, subject matter experts, program secretarial officers and field element managers (including operations offices, site offices, area offices, project offices, and service centers), and/or training administrators. Formal procedures for competency approval in ESS are detailed in the ESS PMCDP module; see Instructions on the drop-down menu. This approval process shall be formalized, documented, and auditable by the sponsoring PSO. The appropriate approving official must assess whether the certification candidate has acquired the requisite KSA for the competencies outlined in this CEG. Information provided in the profile should be results-oriented and showcase the impact the project director had on the project and/or resultant lessons learned. Documented successful completion of the competencies, training requirements, and developmental assignments may be satisfied using any of the following methods: Documented observance of performance Training courses Developmental assignments On-the-job experience Written examination Documented oral examination DOE CORPORATE HUMAN RESOURCES INFORMATION SYSTEM /EMPLOYEE SELF- SERVICE The Office of Engineering and Construction Management establishes a tracking system to ensure that all certification candidates meet the competency requirements contained in this CEG. Documentation of competency requirement completion must be recorded in the DOE CHRIS/ESS PMCDP training module and included in the employee s record of qualifications. Persons assigned as federal project directors or who are certification candidates are required to be associated to the PMCDP module in the ESS. Association to this module is considered a personnel action and must be completed by a human capital management representative of the sponsoring PSO who has administrator authority to make changes to staff members personnel records. INDIVIDUAL DEVELOPMENT PLAN Certification candidates and/or persons currently certified under PMCDP and their supervisors are expected to know and understand the training required and development needs necessary to maintain certification or to progress to higher levels of certification and project authority. All needed training, work and developmental activities, or mentorship must be entered into the federal project directors IDP through CHRIS/ESS. Training. PMCDP courses listed in Section 6 are recommended as the method of fulfillment for PMCDP requirements. Certification candidates and/or

23 PMCDP Certification and Equivalency Guidelines 4-3 Functional Requirements persons currently certified under PMCDP and their supervisors need to plan and coordinate this training in their IDPs to ensure timely progression to higher levels of certification. Work and Development Activities. The work and development requirements listed in Section 6 consist of a range of activities. The duration of these work and development activities ranges from one to three years. Certification candidates and/or persons currently certified under PMCDP and their supervisors need to plan and coordinate these assignments in their IDPs to ensure timely progression to higher levels of certification. Mentoring. Mentoring is required for higher-level certification (see Section 6, Detailed Knowledge and Skill Requirements for further details and the PMCDP web site for a recommended mentoring plan). This activity provides the federal project director with access to experienced DOE federal project directors or senior executives who can provide project management guidance and advice in informal, non-supervisory settings. PROFESSIONAL CERTIFICATIONS PMCDP acknowledges the extensive training and experience requirements for several professional certifications/licenses and grants fulfillment of specific PMCDP requirements. The following licenses and certifications are accepted as fulfillment of multiple PMCDP requirements. See Section 6, Details of Knowledge and Skill Requirements. Project Management Professional (PMP). Project Management Institute offers a certification credential that requires the applicant to demonstrate a proficient level of project management leadership skills. PMCDP accepts this credential for numerous competencies at Levels 1 and 2. This certification has to be current. Professional Engineer (PE). PMCDP accepts a PE license from any United States entity. This certification does not have to be current. Registered Architect (RA). PMCDP accepts a RA license from any United States entity. This certification does not have to be current. Certified Safety Professional (CSP). The Board of Certified Safety Professionals credentials safety, health, and environmental practitioners and sets standards related to professional safety practice. PMCDP accepts a CSP certification for fulfillment of one competency at Level 1. Senior Technical Safety Manager (STSM). The Department of Energy certifies technical staff under the Technical Qualifications Program. STSM certification is granted through the DOE General Technical Base Qualification Standard. PMCDP accepts an STSM certification for fulfillment of one competency at Level 1.

24 4-4 PMCDP Certification and Equivalency Guidelines Functional Requirements SUPPORT SYSTEM As part of the PMCDP effort and other requirements under DOE Order 361.1B, Program Secretarial Officers and field element managers (FEM) establish project management support offices ( homerooms [7] ) for the professional development of DOE federal project directors and other associated project management personnel. These PMCDP homerooms provide training and work/development activities by communicating lessons learned, establishing mentoring programs, exchanging ideas, conducting technical presentations and workshops, and tracking career paths. [7] A centralized, informal project management support structure for the exchange of ideas, lessons learned, networking, mentoring with other federal project directors, and subject matter experts (SME). The homeroom is the placeeither physical or electronicfor project management professionals (i.e., federal project directors) to learn and socialize with colleagues, sharing ideas about their professional developmental interests with those who have similar interests.

25 PMCDP Certification and Equivalency Guidelines 5-1 Certification SECTION 5 CERTIFICATION Certification in the PMCDP is dependent on meeting training, work, and development activity requirements and on possessing competencies commensurate with a specific level of certification. Currently, project management certification under the program is based upon the requirements outlined in the certification standard contained in DOE Order 361.1B and this CEG. The Office of Engineering and Construction Management and NNSA will grant the final certification. Although the goal of certification may not be a requirement for some who participate, the PMCDP offers a range of training that can be geared specifically to help participants stay abreast of current applications in managerial, professional, and technical areas. CERTIFICATION LEVEL Persons planning to be certified under the PMCDP may attain certification levels with the following total project [8] cost (TPC) limits: Certification Level 4: TPC exceeding $400 million (M) Certification Level 3: TPC greater than $100M and equal to or less than $400M Certification Level 2: TPC greater than $20M and equal to or less than $100M Certification Level 1: TPC greater than $5M and equal to or less than $20M If a project director is managing a portfolio of projects, the required project director certification level is determined by the project with the highest TPC dollar value. Certification level requirements based on project TPC should be evaluated based on the following considerations and in concert with the requirements of DOE Order 361.1B: General plant projects (GPPs) or similar small, routine infrastructure improvement projects may not be included in the TPC consideration. The certification candidate must serve on a project for at least six months in order to receive appropriate experience credit. [8] Project. A unique effort that supports a program mission having defined points for starting and ending undertaken to create a product, facility, or system and containing interdependent activities planned to meet a common objective or mission. A project is a basic building block (in relation to a program) that is individually planned, approved, and managed. A project is not constrained to any specific element of the budget structure (e.g., operating expense, plant or capital equipment). Projects include planning and execution of construction, renovation, modification, environmental restoration, decontamination and decommissioning, large capital equipment, and technology development activities. Work that does not include the above elements, e.g., basic research, grants, ordinary repairs, maintenance, and operation of facilities are not considered projects. However, these activities can be managed as projects. Projects are defined under PMCDP as starting at CD-0 and include Departmental construction, experimental equipment, environmental management, and capital assets.

26 5-2 PMCDP Certification and Equivalency Guidelines Certification The certification candidate ideally will have a broad spectrum of experience that spans all project critical decisions (CD), CD-0 through CD-4. The TPC utilized to show experience at a particular certification Level may not be exclusively composed of projects that have not reached CD-1. For non-line item projects (e.g., Office of Environmental Management [EM] Cleanup Projects), a "Near-Term Baseline" (NTB) as approved by the Acquisition Executive can be used in lieu of the TPC for purposes of crediting experience, or for determining required certification levels relative to the above thresholds. Only Engineering and Construction (E&C) costs within the NTB may be included. Operations and non-capital asset work activities should not be included. Considerations other than TPC may increase project director certification requirements. Among these considerations are technical complexity, management complexity, and stakeholder interests. EM may assign lower or higher required project management certification Levels than may be indicated by the TPC alone to clean up projects of various complexity, risk, and visibility per coordination with the CRB. Likewise, when new hires or reassigned incumbents assume federal project director positions, their certification level may be higher or lower than that indicated by the TPC dependent on a project s degrees of complexity, risk, or visibility. See Appendix A for examples to guide EM FEMs and Program Office in determining project certification level requirements for EM cleanup projects. INTERIM CERTIFICATION Participants. Private or public sector professionals hired in to project management billets that will assume federal project manager duties upon entry under DOE Order 413.3B, Program and Project Management for the Acquisition of Capital Assets (i.e., formal designation as the project director on at least one project beyond Critical Decision 2) are eligible for interim certification. Requirements. Interim certification candidates must possess training and experience commensurate with established CRB requirements and be sponsored by one of the CRB Voting Members (the Sponsor). Granting of Interim Certification. The PSO s CRB Voting Member (the Sponsor) is authorized to act on behalf of the CRB and may grant an interim certification that will allow the new hire to be formally assigned to a project in full compliance with DOE Order 361.1B. For PSOs with permanent CRB voting members, their CRB Voting Member must sponsor the interim certification candidate. For PSOs that are ad-hoc or otherwise do not have a permanent voting member on the CRB, interim certification would be granted by the OECM. OECM will act as their CRB Sponsor. Program Secretarial Offices must involve their CRB sponsor in the interview/selection process. The Sponsor reviews the interim certification candidate s credentials during the hiring process and determines that he or she has the requisite experience and qualifications necessary to act as a Level 2, 3, or 4 federal project director. The CRB sponsor will grant the interim certification, be accountable for the interim federal project director s performance under interim certification, and assist in formal certification by the CRB.

27 PMCDP Certification and Equivalency Guidelines 5-3 Certification Interim certification is issued with the following qualifiers: Interim certification is valid for no more than one calendar year from his or her official employment start date and cannot be extended by the Sponsor. Within the one calendar year, the interim federal project director must go through formal CRB approval. The CRB may extend interim certification if necessary to complete final certification actions. o o o No later than nine months after interim certification, the interim federal project director must input and submit his or her application (the profile) to the CRB through the CHRIS/ESS and request PMCDP certification. The Board will follow its standard review process. Experience gained during this interim certification year may be credited towards requisite project management experience. Certification level cannot be higher than that of the project assigned. Candidate must attend the next available DOE Interim Federal Project Director Orientation class. A formal mentoring arrangement must be established between the Sponsor (and/or an equivalent or higher level FPD assigned by the Sponsor) and the interim federal project director. The mentoring activity must be entered into the interim federal project director s IDP. CERTIFICATION REVIEW BOARD The CRB at DOE Headquarters is an independent, autonomous body that evaluates federal certification candidate applications and issues recommendations for certification to DOE/OECM and NNSA per the requirements of DOE Order 361.1B Chapter IV and the competencies established by this CEG (summarized in Appendix B). Local field office boards may be established to provide preliminary review and recommendations to the CRB. EQUIVALENCIES Field Element Managers/office managers direct approving officials and validate equivalencies for competencies for required coursework proposed by project management certification candidates. As part of the certification process, the CRB reviews equivalencies for compliance with PMCDP certification requirements. WAIVERS The CRB co-chairs have approval authority over all waivers. Waivers may be specifically identified work/development activities or for entire federal project director certification level. Such waivers are granted only in extraordinary circumstances of long incumbency combined with exceptional performance in managing capital assets.

28 5-4 PMCDP Certification and Equivalency Guidelines Certification INTERVIEWS The CRB conducts an interview for Level 3 or 4 certification candidates, unless waived by the CRB (see Appendix C). Levels 3 and 4 certified federal project directors must master technical management and demonstrate leadership expertise, including expert leadership of project teams, expert management of project resources, and accountability for project successes and failures. These skills are necessary to manage projects effectively beyond one s technical capabilities and are identified within the PMCDP as behavioral competencies. Interview lines of inquiry include general behavioral competencies applicable to Level 3 or Level 4 federal project directors. At the discretion of the CRB, lines of inquiry may also include project management competencies applicable to Level 3 or Level 4 federal project directors, in that they may provide situational context for questions derived from behavioral competencies. Additionally, some lines of inquiry may be unique to an individual project director s experience and project history identified during the certification package review process (either by the independent reviewers or the CRB members). Interviews are conducted after the certification candidate s profile has been provisionally approved by the CRB. The interview may be conducted face-to-face, telephonically, or through televideo, at the discretion of the CRB. The certification candidate is provided with a minimum of five questions the day before the interview and is allowed to prepare his/her responses. After the interview, the CRB deliberates and determines the certification level recommended. If the interview is not successful, the CRB provides details on key areas that the certification candidate must improve before again requesting certification. At a minimum, the certification candidate must wait 12 months before reapplying to the CRB. APPEALS An applicant denied certification may appeal the CRB decision by presenting a request in writing to the CRB co-chairs with a detailed justification for consideration to overturn the CRB decision. The applicant should include a copy of the documentation package submitted to the CRB and any other relevant documentation to justify the appeal. Because any denial by the CRB is accompanied by recommendations on training and work/development activities to complete before again seeking certification, the justification must state why the recommended additional training and work/development activities are not warranted. The OECM Director has discretion to establish a panel to a review appeal. Such appeal panels have at least three members, one each representing a PSO, the DOE Headquarters Office of Human Capital Management, and a field office. To provide for an independent and unbiased assessment of the appeal, panels do not include anyone associated with OECM or with the field office of the applicant appealing the CRB decision. The applicant who appeals a CRB decisions unsuccessfully may complete the CRB-recommended remedial action and reapply to the CRB for certification. There is no appeal beyond the appeal panel. Similarly, any applicant denied a recommendation for certification by a local review board may appeal the decision to the OECM Director, who will establish a three-member panel to review the decision. If the local board's decision is overturned, the applicant's request for certification and documentation package is forwarded to the CRB with a recommendation for certification.

29 PMCDP Certification and Equivalency Guidelines 5-5 Certification CERTIFICATION UNDER FEDERAL ACQUISITION FOR PROGRAM AND PROJECT MANAGERS The Acquisition Career Manager appointed by the Chief Acquisition Officer under Policy Letter 05-01, or designee, is responsible for administering the DOE FAC-P/PM certification program and issue FAC-P/PM certification.

30 5-6 PMCDP Certification and Equivalency Guidelines Certification Page Intentionally Left Blank

31 PMCDP Certification and Equivalency Guidelines 6-1 SECTION 6 DETAILED KNOWLEDGE AND SKILL REQUIREMENTS The following knowledge and skills are required in order to be a certified DOE federal project director. These may be acquired by training, experience, developmental assignments, or any combination thereof. These requirements are provided for each of the four levels of certification (see Section 5, Certification ) and are categorized by each of the 11 knowledge, skill, and ability areas (see Section 4, Functional Requirements ). For all required competencies, certification candidates must provide a brief statement that details their required level of knowledge, how they have put their knowledge into action, and the impact of the training, experience, and/or developmental assignments had on their project(s). This must be included in the certification candidate s profile. This requirement is only applicable if you have not taken the requisite PMCDP course for a particular competency, and are using general experience to qualify in lieu of any other equivalent, formal training. KNOWLEDGE/SKILL LEVEL The knowledge/skill level that an individual must possess is defined as follows: Familiarity-level. The ability to manage low risk and relatively simple projects or to manage more complex projects under direct supervision or a more experienced manager, [9] and basic knowledge of, or exposure to, the subject or process adequate to discuss the subject or process with individuals of greater knowledge. Working-level. The knowledge required to monitor and assess operations/activities of low to moderate risk, with little or no supervision, [10] and to apply standards of acceptable performance and to reference appropriate materials and/or expert advice as required to ensure the safety of project activities. Expert-level. The ability to manage moderate to high risk projects, [11] and a comprehensive, intensive knowledge of the subject or process sufficient to provide advice in the absence of procedural guidance. These requirements contain technical knowledge, technical skill, and behavioral skills, except for Level 1, which does not require behavioral skills. TRAINING Each competency that is tied to a PMCDP course states that the Fulfillment of the competency may be achieved through the following: 1) successful completion of the PMCDP course ; 2) OR the successful completion of an equivalent course The equivalent for PMCDP training may be relevant experience or other verifiable training. [12] [9] [10] [11] [12] OMB, Office of Federal Procurement Policy, Federal Acquisition Certification for Program and Project Managers requirement. Ibid. Ibid. See Appendix D for a crosswalk of DoD Program Management certification (courses through Defense Acquisition University) to the PMCDP.

32 6-2 PMCDP Certification and Equivalency Guidelines All PMCDP classes require participants to attend a minimum of ninety-percent of training and have a minimum of seventy-percent pass rate for successful completion of the course and PMCDP credit. Priority for placement in required PMCDP training and/or a developmental assignment is as follows: First Priority: Persons currently assigned (incumbent [13] ) as the federal project director with primary responsibility for a capital asset as defined by DOE Order 413.3B. Second Priority: DOE staff who aspire to project management careers as federal project directors or who previously held such position but who do not currently have a project for which they have been assigned primary responsibility (e.g., deputy project directors, assistant project directors, integrated team members, and others who may desire or are encouraged to attain federal project director certification) are not required to obtain certification (a candidate); however, they may seek certification. Such persons will have second priority (behind incumbent federal project directors) for required PMCDP training and/or developmental assignments on a space available basis. Third Priority: Other DOE staff, taking courses, but whom management has not formally identified as incumbents or candidates. They often have key responsibilities on Integrated Project Teams (IPT), serve as managers for projects other than capital assets, and support individual projects or more general project management or acquisition-related activities within offices. PROJECT DIRECTOR EXPERIENCE All experience claimed as fulfillment of a competency should be described briefly and explicitly with specific project examples that show what was done, how it was done, and the results of the actions taken. Specific titles, roles, and responsibilities must be described for all equivalencies. Examples of competency fulfillment have been created for each PMCDP requirement and appear subsequent to each competency requirement throughout this text. These examples are meant to act as a guide for the certification candidate, not as a template or text to be copied verbatim. The following requirements must be met for developmental/work experience claimed on Level 2 or higher certifications: Certification candidates must demonstrate a minimum of two years of experience as an FPD or equivalent managing projects at the previous level of certification; OR, o o A combination of one full year of FPD or equivalent experience, and one full year of deputy project director experience on an active, post CD-3 project; OR, A combination of FPD and Deputy FPD experience for two continuous years on the same active, post CD-3 project is acceptable as long as the FPD experience accounts for a minimum of 12 months of that two-year period. The guidance for accepted experience governing this requirement is under DEPUTY PROJECT DIRECTOR EXPERIENCE on page 6-3. Experience in project management will not be credited for work done on projects that have yet to reach CD-0. Ideally, certification candidates should possess experience in all CD- [13] Incumbent, as used in DOE O361.1A, Chapter IV, will mean those federal project directors who are the formally assigned federal project director for a capital asset.